Stephen Thomas Mcginn

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-02-17
PA	RA	APPROVED	2008-07-02

TX RA
APPROVED

Since 2011-02-17
PA RA
APPROVED

Since 2008-07-02

Branch Locations

1600 Paoli Pike Ste 200, Malvern, PA 19355 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	07/2008	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	07/2008	Present

07/2008 → Present

Cambridge Investment Research, Inc

Fairfield, IA
07/2008 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA

Previous Registrations

2002-10-17 → 2008-07-03

Principal Securities, Inc.

Malvern, PA

Malvern, PA
2001-09-27 → 2002-10-24

1717 Capital Management Company

King Of Prussia, PA

Other Businesses

1) MCGINN FINANCIAL SERVICES, INV REL, MARKETING FINANCIAL SERVICE AND FINANCIAL PLANNING, MARKETING INSURANCE AND INVESTMENT PRODUCTS, 200 HR/MO 200 HR/MO TRADING 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CHAMBER OF COMMERCE. CHESTER COUNTY CHAMBER OF BUSINESS AND INDUSTY 1600 PAOLI PIKE MALVERN PA, MEMBER. 01/2001, NIR. 3 HR/MO 3 HR/MO TRADING. I AM A MEMBER AND ATTEND VARIOUS NETWORKING EVENTS. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING. 07/2008 5) MCGINN FINANCIAL SERVICES, 1600 PAOLI PIKE SUITE 200 MALVERN PA, 07/2008, IAR, Using a Trade Name / DBA, INV REL, 160 HR/MO 160 HR/MO TRADING

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-11-06

S63 Uniform Securities Agent State Law Examination

1989-11-06

Designations

Certified Financial Planner
Chartered Financial Consultant

View on SEC IAPD